英文版國(guó)際經(jīng)濟(jì)法課程教材WTO章節(jié)

ChapterSixGATTandWTOLaw戰(zhàn)后經(jīng)濟(jì)三大支柱關(guān)貿(mào)總協(xié)定國(guó)際貨幣基金組織世界銀行TheFoundingofGATTAtradebarrierisanyimpediment（阻礙）totradeingoodsorservices.Animporttradebarrierisanyimpediment,directorindirect,totheentranceorsaleofimportedgoodsorservicesexistinginthecountryofimportation.TradeLiberalizationthroughCooperationMostnationshavecometorealizethattradebarriersaredamagestotheinternationaleconomyandultimatelytotheirown.Moreover,theyhaverealizedthatiftheyrestricttheproductsoftheirtradingpartnersinordertoprotectonesegmentorsectoroftheireconomy,thenanothersectorwillsuffer.Therefore,beginningin1934,nationsembarked（著手）onalongroadtoimprovetheworldtradeenvironment.Atfirst,negotiationsbasedonreciprocity（互惠）resultedinmutualtariffreductions.AfterWorldWarIInationalleadersandpolicymakersstressedamoreinternationalviewoftheworld’seconomy.Atthesametime,theUnitedNationsandothernewinternationalorganizationswereborn.LedbytheUnitedStates,othernation’sembracedfreetradeandopenmarketpolicies.Theireffortstoestablishnew"rulesofthegame"forconductingtheirtraderelationsresultedinthecreationofaninternationallegalsystemtohandletradematters,completewithinternationallaw,disputesettlementmechanisms,andagreed-uponcodesforregulatingtrade.ThissystemisbasedontheGeneralAgreementonTariffsandTrade(GATT).GATTprovidesanorganizedglobalstructuretoimprovetheeconomic,political,andlegalclimatefortrade,investment,anddevelopment.Itsprimarygoalistoachievedistortion（扭曲）-freetradethroughtheremovalofartificialbarriersandrestrictionsimposedbyself-servingnationalgovernments.TheGATTsystemincludesaninternationallegalsystemwithrules,amechanismforinterpretingthoserules,andaprocedureforresolvingdisputesunderthem.GATTrulesarecreatedbyinternationalagreementandbecomeguidingprinciplesofinternationaltradelaw.Intheory,theGATTlegalsystemexistssidebysidewiththedomesticlegalsystemsofsovereignnations;GATTanticipatesthatnationallegislaturesandgovernmentagencieswillcomplywithGATT’sprinciplesinsettingtariffsandregulatingimports.ScopeandCoverageofGATT1947andGATT1994TherulesofGATT1947appliedonlytotradeingoods.Becausemostofthemajortradingnationsoftheworldhavebeenmembers,GATThascontrolledmotethan80percentoftheworld'stradeingoods.GATT1947wassuccessfulinreducingtariffsandnon-tariffbarrierstotradeworldwide.However,nationsencounteredmanytradeissuesoverwhichGATThadnoresponsibility.Tradeinservices,suchasbankingorinsurance,wasspecificallyexcludedfromGATT1947.Italsofailedtoregulateagriculturaltrade,anareaofconstantdisputebetweennations.Tradeintextilesandapparelwasalsonotcoveredbecauseofthepoliticallysensitivenatureoftheseindustries.BecauseGATT1947onlydealtwithtradeingoods,itdidlittleornothingtoprotectintellectualpropertyfights,suchascopyrightsandtrademarks.Finally,thedisputesettlementprocesssetupunderGATT1947,usedtoresolvetradeconflictsbetweencountries,wasfilledwithloopholes（漏洞）andwasoftenineffective.GATT1994ismuchbroaderinscopeandcoveragethantheoriginalagreement,andaddressesmanyofthelatter’slimitations.InadditiontotheoriginalprovisionsofGATT1947,GATT1994includesthefollowingmultilateraltradeagreementsonspecificissuessuchasagreementonagriculture,agreementontextilesandclothing,agreementontechnicalbarrierstotrade,agreementontrade-relatedinvestmentmeasures,agreementonsubsidiesandcountervailingmeasures,etc.ROUNDRound:（談判的）一輪；回合（關(guān)稅減讓的談判）UndertherulesofGATT,nationswillmeetperiodicallytoreducetariffsandnontariffbarrierstotrade.Since1947theGATTorganizationhasservedtobringmembernationstogethertonegotiatetariffreductionsandtheopeningofmarkets.Undertheauspices（主辦）theGATT,thecontractingpartieshavecompletedeightmajorrounds,ormultilateralnegotiatingsessions:(1)Geneva,Switzerland,in1947,(2)Annecy,France,in1948,(3)Torquay,England,in1956,(4)Geneva,Switzerland,in1956,(5)DillonRound,1960--1961,(6)KennedyRound,1964--1967,(7)TokyoRound,1973--1979,(8)UruguayRound,1986--1994.關(guān)貿(mào)總協(xié)定歷次多邊貿(mào)易談判情況簡(jiǎn)表輪次談判地點(diǎn)和時(shí)間參加方談判主要成果第一輪瑞士日內(nèi)瓦1947年4月-10月23達(dá)成45000項(xiàng)商品的關(guān)稅減讓，使占應(yīng)稅進(jìn)口值54%的商品平均降低關(guān)稅35%；關(guān)貿(mào)總協(xié)定于1948年1月1日生效。第二輪法國(guó)安納西1949年4月-10月33達(dá)成近5000項(xiàng)商品的關(guān)稅減讓，使占應(yīng)稅進(jìn)口值5.6%的商品平均降低關(guān)稅35%。第三輪英國(guó)托奎1950.9-1951.439達(dá)成8700多項(xiàng)商品的關(guān)稅減讓，使占應(yīng)稅進(jìn)口值11.7%的商品平均降低關(guān)稅6%。第四輪瑞士日內(nèi)瓦1956年1月-5月28達(dá)成近3000項(xiàng)商品的關(guān)稅減讓，使占應(yīng)稅進(jìn)口值16%的商品平均降低關(guān)稅15%。第五輪瑞士日內(nèi)瓦1960.9-1962.745達(dá)成4400項(xiàng)商品的關(guān)稅減讓，使占應(yīng)稅進(jìn)口值20%的商品平均降低關(guān)稅20%。第六輪瑞士日內(nèi)瓦1964.5-1967.654以關(guān)稅統(tǒng)一減讓方式就影響世界貿(mào)易額約400億美元的商品達(dá)成關(guān)稅減讓，平均降低關(guān)稅35%；首次涉及非關(guān)稅壁壘談判，并通過(guò)了第一個(gè)反傾銷協(xié)議。第七輪瑞士日內(nèi)瓦1973.9-1979.4102以一攬子關(guān)稅減讓方式就影響世界貿(mào)易額約3000億美元的商品達(dá)成關(guān)稅減讓與約束，關(guān)稅水平下降35%；達(dá)成多項(xiàng)非關(guān)稅壁壘協(xié)議和守則；通過(guò)了給予發(fā)展中國(guó)家優(yōu)惠待遇的“授權(quán)條款”。第八輪瑞士日內(nèi)瓦1986.9-1994.4123達(dá)成了28個(gè)內(nèi)容廣泛的協(xié)議；貨物貿(mào)易減稅幅度近40%，減稅商品涉及貿(mào)易額高達(dá)1.2萬(wàn)億美元，近20個(gè)產(chǎn)品部門實(shí)行了零關(guān)稅；農(nóng)產(chǎn)品非關(guān)稅措施實(shí)行關(guān)稅化，紡織品的配額限制在10年內(nèi)取消；GATT擴(kuò)大到服務(wù)貿(mào)易、知識(shí)產(chǎn)權(quán)和與貿(mào)易有關(guān)的投資措施協(xié)議；建立WTO取代GATT。Intheearlyrounds,countriesnegotiatedonaproduct-by-productbasisbysimplypresentinglistsoftariffreductionsthattheydesiredfromothercountries,whosubmittedrequestsforconcessionsthattheywantedinreturn.TheKennedyRoundresultedinevenlargeracross-the-boardtariffcuts,particularlyinmanufacturedgoods,averagingnearly40percentreductionsandcovering$40billionintrade.Morethan60nationsparticipatedintheKennedyRound.Bythe1970s,GATT’seffortshadprovensosuccessfulthattariffsceasedtobetheworld’sgreatestbarriertotradeingoods.Indeed,withoutGATT,decadesofbilateralnegotiationsmayhavebeennecessarytoachievethereductionsthatmultilateralnegotiationsreachedwithinafewyears.IntheTokyoRoundmorethan100participatingnationsagreedtotariffcutsaveraging34percentandcovering$300billionintrade,whicheffectivelyloweredtheaverageleveloftariffstoabout5percent.DuringtheUruguayRound,theUnitedStatesadoptedazero-for-zerotariffreductionpolicy.Eachnation’stariffschedulesdepositedwiththeWTOreflectthenewrates.ManymembernationshaveagreedtonegotiateadditionalmarketaccessagreementsinfutureWTOnegotiationsonazero-for-zerobasis.TheWorldTradeOrganization(WTO)OnJanuary1,1995,theWorldTradeOrganization(WTO)replacedtheoriginalGATTorganization.Itprovidesanumbrellaorganizationthatsetstherulesbywhichnationsregulatetradeinmanufacturedgoods,services(includingbanking,insurance,tourismandtelecommunications),intellectualproperty,textilesandclothing,andagriculturalproducts.TheroleoftheWTOistofacilitateinternationalcooperationtoopenmarkets,provideaforumforfuturetradenegotiationsbetweenmembers,andprovideaforumforthesettlementoftradedisputes.TheWTOwillhaveastatureequaltothatoftheIMForWorldBank,andwillcooperatewiththoseagenciesoneconomicmatters.TheWTO’smembershipincludesthosecountriesthatpreviouslybelongedtoGATT,andwilleventuallybeopentoothercountries,ifacceptedbyatwo-thirdsmajorityvoteofthemembers.Now,WTOhas154members.LegalStructureoftheWTO諸邊貿(mào)易協(xié)定諸邊貿(mào)易協(xié)定（plurilateraltradeagreement），亦稱為“復(fù)合貿(mào)易協(xié)定”，不屬于一攬子接受的范疇，其生效與接受從其自身的規(guī)定。諸邊貿(mào)易協(xié)定涉及民用航空器、政府采購(gòu)、奶制品和牛肉等四個(gè)領(lǐng)域。這些協(xié)定中除個(gè)別條款進(jìn)行了調(diào)整或修改外，基本上保持上了東京回合四個(gè)守則的原樣。盡管諸邊貿(mào)易協(xié)定在接受方式上沒有與建立世界貿(mào)易組織的協(xié)定和多邊貿(mào)易協(xié)定掛鉤，但它們同樣經(jīng)過(guò)烏拉圭回合載入《最后文件》，從而亦構(gòu)成世界貿(mào)易組織法律體系的組成部分。這就意味著凡是總協(xié)定的締約方，即使不接受諸邊貿(mào)易協(xié)定，也可以成為世界貿(mào)易組織的成員。同樣地，不是總協(xié)定的締約方，若申請(qǐng)加入世界貿(mào)易組織，也無(wú)須以接受諸邊貿(mào)易協(xié)定為條件。

世貿(mào)組織的決策程序協(xié)商一致優(yōu)先，投票表決第二決策事項(xiàng)不同，投票要求不同爭(zhēng)端解決機(jī)構(gòu)通過(guò)報(bào)告的特殊規(guī)定所有重大的決定都是由全體成員共同作出的在部長(zhǎng)會(huì)議和總理事會(huì)會(huì)議上，世界貿(mào)易組織的每一成員都有一票投票權(quán)。除非另有規(guī)定，部長(zhǎng)會(huì)議和總理事會(huì)的決定以簡(jiǎn)單多數(shù)票表決通過(guò)。對(duì)任何協(xié)議條款的解釋，都需要成員的3/4多數(shù)通過(guò)一般條款的修改，需成員的2/3多數(shù)通過(guò)。涉及權(quán)利義務(wù)的條款的修改，對(duì)接受修改的成員生效；不涉及權(quán)利義務(wù)條款的修改，對(duì)所有的成員生效修改最惠國(guó)待遇、關(guān)稅減讓、WTO決策、修正需全體成員接受豁免成員義務(wù)3/4以上接受新成員3/4以上爭(zhēng)端解決機(jī)構(gòu)在作出決定時(shí)，按協(xié)商一致（協(xié)商一致，是指除非有成員正式提出異議，否則，應(yīng)視為所有成員一致同意作出決議）的方式進(jìn)行。但在通過(guò)專家組或上訴機(jī)構(gòu)的報(bào)告時(shí)（見第6章），卻采取反向一致原則，即除非爭(zhēng)端解決機(jī)構(gòu)所有成員一致同意不通過(guò)相關(guān)報(bào)告，該報(bào)告即得以通過(guò)。專家組或上訴機(jī)構(gòu)的報(bào)告僅對(duì)有關(guān)爭(zhēng)議各方有約束力MajorprincipleofGATTMost-favored-nationTreatmentNationalTreatmentMost-favored-nationTreatmentTheguidingconceptoftradeliberalizationunderGATTisthatofnondiscrimination,whichismostlyillustratedbyMost-favored-nationprinciple(MFN)(最惠國(guó)待遇原則).MFNprinciples(Article1ofGATT)requirethatanytradeadvantageorprivilegegrantedbyoneGATTmembertothegoodsofanothermembershouldbegrantedtoall.Anytariff,tax,orotherrestrictiononimportsshouldbeappliedequallytoproducts,withoutregardtoorigination.BecausetheproductsofallMFNcountriesaretreatedequally,productsshippedfrombotheconomicallypowerfulcountriesandsmallcountrieswillbetreatedthesameintheforeignmarket.最惠國(guó)待遇原則是國(guó)際經(jīng)貿(mào)條約中一項(xiàng)傳統(tǒng)的法律原則。最惠國(guó)待遇是指一國(guó)在貿(mào)易、航海、關(guān)稅、國(guó)民法律地位等方面給予另一國(guó)的優(yōu)惠待遇不得低于現(xiàn)時(shí)或?qū)?lái)給予任何第三國(guó)的優(yōu)惠待遇。該項(xiàng)待遇的給予通常是通過(guò)簽訂雙邊貿(mào)易條約并在其中訂入最惠國(guó)待遇條款得以進(jìn)行。享有最惠國(guó)待遇的國(guó)家為受惠國(guó)，給與最惠國(guó)待遇的國(guó)家為給惠國(guó)。UnconditionalMFNTreatmentConditionalMFNTreatmentMFNExceptionsUnconditionalMFNTreatmentUnconditionalMFNtraderequiresthatwhenanationextendssomeprivilegeorrighttooneofitstradingpartners,suchasareducedtariffrate,thatprivilegeautomaticallybecomesapplicabletoallothertradingpartners.So,ifnationAnegotiatesareducedtariffrateonaparticularproductimportedfromnationB,thatnewratebecomesapplicabletolikeproductsimportedfromMFNnationCandfromallnationsthathaveMFNstatuswiththeimportingcountry.國(guó)際經(jīng)貿(mào)實(shí)踐中,締約國(guó)相互給予的這種待遇有兩種不同的形式:一是無(wú)條件的最惠國(guó)待遇,它是指締約國(guó)一方現(xiàn)時(shí)或?qū)?lái)給予締約另一方的任何優(yōu)惠待遇應(yīng)立即無(wú)償?shù)亟o予締約第三方;二是有條件的最惠國(guó)待遇,它是指締約方相互給予對(duì)方最惠國(guó)待遇以對(duì)方給予為條件補(bǔ)償。如當(dāng)某一締約方甲給另一締約方乙提供了一種貿(mào)易上的更為優(yōu)惠的待遇時(shí),其他任何第三方若想要享受甲國(guó)給予乙國(guó)的這種優(yōu)惠,則必須向甲提供相應(yīng)的優(yōu)惠作為補(bǔ)償。因此,凡以索取相應(yīng)的貿(mào)易優(yōu)惠作為條件,將其給予另一國(guó)的貿(mào)易優(yōu)惠給予其他任何第三國(guó)的,該國(guó)實(shí)施的便是有條件的最惠國(guó)待遇。MFNExceptionsTheGATTprovidesfortraderelationshipsthatmaybeevenmorefavorablethanMFNtreatment.Theseincludefree-tradeareas(e.g.theNorthAmericanFreeTradeAgreement)andcommonmarkets(e.g.theEuropeanUnion).GATTalsoprovidesforspecialtrade"preferences"fordevelopingcountriesunderwhichtheirproductsqualifyforbetter-than-MFNtreatment.NationalTreatmentThenationaltreatment(國(guó)民待遇原則)provisionsofGATTareintendedtoensurethatimportedproductswillnotbesubjectedtodiscriminatorytreatmentunderthelawsoftheimportingnation.UnderArticlesIII,importedproductsmustnotberegulated,taxed,orotherwisetreateddifferentlyfromdomesticgoodsoncetheyenteranation’sstreamofcommerce.GATTArticleIII:2providethatimportsshallnotbesubjecttointernaltaxesorchargesinexcessofthoseappliedtolikedomesticproducts.TheevenbroaderprovisionsofArticleIII:4statethatimportedproductsshallbegiventreatmentnolessfavorablethanthataccordedtolikeproductsofnationalorigininrespectofalllaws,regulations,andrequirementsaffectingtheirinternalsale.Thisprovisionhasbeeninterpretedasprohibitingdiscriminationagainstimportsresultingfromawiderangeofnon-tariffbarrierstotrade,includingdiscriminatorycustomsprocedures,governmentprocurementpolicies,andproductstandards.Tariff-basedImportRestrictionGATT’sfounderssoughtamultilateralapproachtotheeliminationofrestrictivetradebarriers.Theyselectedatariff-basedapproachthathadtwofundamentalgoals.First,GATTmembersweretoengageinregularnegotiationsdesignedtosystematicallyreduceimportduties.Second,tariffsweretobetheonlyformofimportprotectionpermittedbyGATT.Specifically,GATTprohibitedtheuseofnon-tariffbarriers,suchasquotasandquantitativerestrictionstotrade.Aswillbeseenlater,however,therearenumerousexceptionstothispolicy.世貿(mào)組織對(duì)關(guān)稅的原則是約束關(guān)稅，并不斷削減。各成員在降低關(guān)稅談判中作出的關(guān)稅減少，通常稱為關(guān)稅減讓。各成員對(duì)其進(jìn)口產(chǎn)品作出的關(guān)稅減讓，構(gòu)成了該成員的關(guān)稅減讓表。各成員在關(guān)稅減讓表中公布的稅率是受到約束的，是可以適用的稅率的最高限。除非經(jīng)其他有關(guān)規(guī)則允許(如反傾銷稅)，或重新與其他成員談判，否則不得提高關(guān)稅稅率。但成員可以實(shí)際適用比約束關(guān)稅低的關(guān)稅。Prohibitionofquantitativerestrictionsandexceptions依關(guān)稅與貿(mào)易總協(xié)定的規(guī)定，對(duì)進(jìn)出口產(chǎn)品原則上取消一切數(shù)量限制。對(duì)進(jìn)出口產(chǎn)品采取數(shù)量限制，是指對(duì)進(jìn)出口產(chǎn)品采取除關(guān)稅、國(guó)內(nèi)稅和其他費(fèi)用之外的禁止或限制措施。數(shù)量限制與稅費(fèi)措施相比，缺乏透明性、公正性，它對(duì)貿(mào)易的影響也不易在產(chǎn)品價(jià)格上直接反映出來(lái)。下列情況存在普遍取消數(shù)量限制義務(wù)的例外：為防止或緩解出口成員的糧食或其他必需品的嚴(yán)重短缺而臨時(shí)實(shí)施的出口禁止或限制；為實(shí)施國(guó)際貿(mào)易中的商品歸類、分級(jí)和銷售標(biāo)準(zhǔn)或法規(guī)而必須實(shí)施的進(jìn)出口禁止或限制；為了限制國(guó)內(nèi)產(chǎn)品數(shù)量或消除國(guó)內(nèi)產(chǎn)品的過(guò)剩而對(duì)農(nóng)產(chǎn)品或漁產(chǎn)品進(jìn)口而實(shí)施的限制；為了保障其對(duì)外金融地位和國(guó)際收支平衡而對(duì)進(jìn)口產(chǎn)品進(jìn)行的限制。GATS跨境供應(yīng)服務(wù)產(chǎn)品的流動(dòng)境外消費(fèi)消費(fèi)者流動(dòng)自然人存在工程承包，出國(guó)打工商業(yè)存在分支機(jī)構(gòu)如銀行、保險(xiǎn)最惠國(guó)待遇國(guó)民待遇市場(chǎng)準(zhǔn)入具體減讓W(xué)TO爭(zhēng)端解決機(jī)制典型案例分析1963年，美國(guó)國(guó)會(huì)制定了旨在防止和控制美國(guó)空氣污染的《清潔空氣法》。根據(jù)1990年美國(guó)國(guó)會(huì)通過(guò)的一項(xiàng)有關(guān)該法的修正案，美國(guó)環(huán)境保護(hù)局(EPA)于1993年12月1